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CFA

Carroll Financial Associates Portfolio holdings

AUM $1.88B
1-Year Est. Return 20.52%
This Fund
S&P 500
This Quarter Est. Return
+2.16%
1 Year Est. Return
+20.52%
3 Year Est. Return
+80.57%
5 Year Est. Return
+102.34%
10 Year Est. Return
–
AUM
$265M
AUM Growth
+$61.2M
Cap. Flow
-$1.15M
Cap. Flow %
-0.43%
Top 10 Hldgs %
39.72%
Holding
975
New
167
Increased
121
Reduced
109
Closed
40

Top Buys

Rank Stock Value
1
CSG
CHAMBERS STR PPTYS COM
CSG
+$1.5M
2
HTS
HATTERAS FINANCIAL CORP
HTS
+$1.46M
3
USMV icon
iShares MSCI USA Min Vol Factor ETF
USMV
+$1.44M
4
MTUM icon
iShares MSCI USA Momentum Factor ETF
MTUM
+$1.06M
5
PXF icon
Invesco FTSE RAFI Developed Markets ex-US ETF
PXF
+$1.05M

Top Sells

Rank Stock Value
1
OAK
OAKTREE CAPITAL GROUP, LLC
OAK
+$4.74M
2
AMJ
JP Morgan Alerian MLP Index ETN 5/24/24
AMJ
+$3.12M
3
XOM icon
ExxonMobil
XOM
+$1.8M
4
HNR
Harvest Natural Resources
HNR
+$1.62M
5
HRL icon
Hormel Foods
HRL
+$1.26M

Sector Composition

Rank Sector Weight
1 Financials 13.74%
2 Technology 10.07%
3 Energy 9.61%
4 Healthcare 7.12%
5 Industrials 4.95%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
DEG
426
DELISTED
ETABLISSEMENT DELHZ ADS 4 ADS REPTGS 1 ORD SHS
DEG
$19K 0.01%
1,252
– –
DJP icon
427
iPath Bloomberg Commodity Index Total Return ETN due 12 June 2036
DJP
$794M
$18K 0.01%
484
+314
+185% +$11.8K
HUM icon
428
Humana
HUM
$46.2B
$18K 0.01%
200
– –
ISRG icon
429
Intuitive Surgical
ISRG
$134B
$18K 0.01%
450
– –
KXI icon
430
iShares Global Consumer Staples ETF
KXI
$1.07B
$18K 0.01%
440
– –
LINE
431
DELISTED
LINN ENERGY LLC COM UTS REP LTD LIABILITY CO INTS
LINE
$18K 0.01%
700
+200
+40% +$5.18K
NQU
432
DELISTED
NUVEEN QUALITY INCOME MUNI FD
NQU
$18K 0.01%
1,466
– –
ETP
433
DELISTED
Energy Transfer Partners L.p.
ETP
$18K 0.01%
351
+11
+3% +$568
APH icon
434
Amphenol
APH
$209B
$17K 0.01%
1,840
– –
EES icon
435
WisdomTree US SmallCap Earnings Fund
EES
$731M
$17K 0.01%
708
– –
MRSH
436
Marsh
MRSH
$91.5B
$17K 0.01%
400
– –
VIS icon
437
Vanguard Industrials ETF
VIS
$8.39B
$17K 0.01%
195
– –
MRO
438
DELISTED
Marathon Oil Corporation
MRO
$17K 0.01%
493
– –
AET
439
DELISTED
Aetna Inc
AET
$17K 0.01%
277
– –
CELG
440
DELISTED
Celgene Corp
CELG
$17K 0.01%
+226
New +$15.8K
BSV icon
441
Vanguard Short-Term Bond ETF
BSV
$44.6B
$16K 0.01%
+200
New +$16K
ECH icon
442
iShares MSCI Chile ETF
ECH
$1.06B
$16K 0.01%
335
– –
EOG icon
443
EOG Resources
EOG
$70.7B
$16K 0.01%
196
– –
FXI icon
444
iShares China Large-Cap ETF
FXI
$4.31B
$16K 0.01%
450
– –
IXJ icon
445
iShares Global Healthcare ETF
IXJ
$4.18B
$16K 0.01%
406
– –
PGJ icon
446
Invesco Golden Dragon China ETF
PGJ
$98.7M
$16K 0.01%
+568
New +$14.2K
RSG icon
447
Republic Services
RSG
$65.7B
$16K 0.01%
500
– –
SPXC icon
448
SPX Corp
SPXC
$10.8B
$16K 0.01%
794
– –
XLB icon
449
State Street Materials Select Sector SPDR ETF
XLB
$8.66B
$16K 0.01%
800
– –
RAD
450
DELISTED
Rite Aid Corporation
RAD
$16K 0.01%
172
– –
16 17
18
19 20

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Carroll Financial Associates's Q3 2013 Portfolio in Review

As of Q3 2013, Carroll Financial Associates held 975 positions worth $265M, up 30% from $204M the previous quarter. Its ten largest holdings account for 40% of the portfolio.

Carroll Financial Associates's Q3 2013 filing shows 167 new, 121 increased, 109 reduced and 40 closed positions. Its largest new stake was Rio Tinto: 19,299 shares worth $941K. The largest sale was OAKTREE CAPITAL GROUP, LLC, an estimated $4.74M.

By sector, the portfolio is most concentrated in Financials at 14% of assets, down from 17% a quarter earlier, followed by Technology and Energy.

  • Carroll Financial Associates's largest Q3 2013 buy was Rio Tinto: 19,299 shares worth $941K.
  • Carroll Financial Associates added most to CHAMBERS STR PPTYS COM in Q3 2013, an estimated $1.5M increase.
  • Carroll Financial Associates's biggest Q3 2013 reduction was OAKTREE CAPITAL GROUP, LLC, cutting an estimated $4.74M.
  • Carroll Financial Associates fully exited Hormel Foods in Q3 2013, selling an estimated $1.26M.
  • Carroll Financial Associates's ten largest holdings make up 40% of its $265M portfolio in Q3 2013.
  • Carroll Financial Associates opened 167 new positions and closed 40 in Q3 2013.
  • Carroll Financial Associates's portfolio value rose 30% quarter-over-quarter to $265M.

Based on Carroll Financial Associates's 13F filing for Q3 2013, filed 14 Nov 2013.